Ms. Doris Wohlschlagl-Aschberger

Doris Wohlschlagl-Aschberger

Key Qualifications and Professional Experience
• Dr. iuris (University of Vienna)
• 2010 – present: Banking and Capital Market Expert for the
Public Prosecutor of Austria (special contract with the Ministry of Justice)
• 2003 – present: Adviser for Compliance Issues for Investment Firms and
Banks in Austria
• 2006 – 2008: PwC, Principal Consultant/of counsel (Compliance & EUDirectives)
• 2005 – present: FH Joanneum, Graz, Lecturer
• 2005: Western Union, Deputy Chief Compliance Officer for
EMEA & South Asia
• 2004 – present: Legal Expert in Court cases in Austria
• 2003 – present: EU Projects and World Bank Projects in Slovakia, the
Czech Republic, Montenegro, Vietnam, Kazakhstan and China, Senior
Bank/Financial Market and Legal Expert
• 2002 – 2005: Trans Europe Financials, Managing Director
• 2002 – present: Banken-Kolleg/Wirtschaftsuniversität Vienna, Lecturer
• 2001 – present: University of Vienna, Lecturer
• 2001 – present: Lecturer at other Institutions on a regular basis
• 2000 – 2001: ecetra Central European e-Finance AG, CFO
• 1999 – present: Donau-Universität in Krems, Lecturer
• 1997 – 1999: Austrian Securities Authority, Deputy Director
• 1994 – 1997: Academy of Fine Arts Vienna, Administrative Director
• 1990 – 1993: Deutsche Bank (Austria) AG, Vienna, Compliance Officer
• 1987 – 1990: Citibank (Austria) AG, Vienna, and Citicorp International,
Compliance Officer
• 1985 – 1986: Adria Bank AG, Vienna, Head of Credit Department
• 1981 – 1985: Oesterreichische Kontrollbank AG, Vienna
• 1980 – 1981: Constantia Industrieverwaltungsges. m.b.H., Vienna

Training skills
• EU Directives: ISD, MiFID, UCITS
• EU Directives: Market Abuse Directive, AML Directive
• EU / International: Basel II/III
• Compliance issue: Corporate Governance, Compliance and Internal Audit
• Market Abuse: Insider Trading and Market Manipulation
• Legal and regulatory affairs and supervision, other legal issues
• Fraud and Cyber Crime, Corruption and Money Laundering
• Risk Management: Operational Risk
• Business English / Legal English

Other Experiences
• In-depth knowledge and experience in compliance issues (including
AML compliance as well as fraud and corruption prevention) and
corporate governance issues.
• Sound experience in the following areas of activities: Regulation and
supervision of financial markets, and clearing and settlement systems,
Securities law and market rules (including market abuse regulations),
Regulation and supervision of securities market intermediaries and
financial institutions, Financial authorities capacity building, Financial
authorities organizational restructuring, Financial sector economics.
• Longstanding expertise in implementing EU Directives, such as ie ISD and
MiFID in markets as Austria and CEE, such as ie Slovakia (for market
participants as well as regulators).
• In-depth knowledge how to regulate and supervise the financial sector,
how to implement EU Directives as well as how to design, implement and
maintain legal enforcement mechanisms and procedures, with specific
focus on emerging markets.
• Setting up and managing pension funds, investment funds and companies
and gather additional know-how especially in compliance, supervision, tax
and legal affairs.
• Longstanding experience and in-depth knowledge of law cases at court.
• Longstanding experience as trainer and lecturer at various universities and
training institutes.